Securities
A maze of federal and state securities laws confront US public companies. Squire Sanders securities lawyers have the knowledge and experience to advise public company clients on these compliance requirements – whether they originate with the Securities and Exchange Commission, the New York Stock Exchange, the Nasdaq Stock Market or other securities exchanges in the United States and abroad.
The range of our expertise extends from assisting companies with required reporting under SEC rules to advising NYSE and Nasdaq-traded companies on new Sarbanes-Oxley requirements. Our clients include newly emerging enterprises, midsized firms and Fortune 200 companies.
On behalf of our public company clients, our securities lawyers:
- Design internal systems to simplify periodic SEC reporting by routinely capturing information relevant to reporting obligations
- Provide mechanisms for alerting senior management to potentially disclosable events or developments
- Offer guidance on sensitive disclosure issues
- Assist in crafting the required transparency in management’s discussion and analysis of financial condition and results of operations (MD&A)
- Advising on executive compensation disclosure
- Counsel on development and implementation of policies and procedures to deal with the purchase and sale of securities by company insiders
- Ensure compliance with SEC rules governing short-swing transactions, including compliance by directors and executives with reporting requirements under Section 16 of the Securities Exchange Act
- Advise boards of directors and special committees of boards during the course of internal investigations of suspected or actual improprieties
- Plan and implement comprehensive takeover defense plans, and director and officer indemnification arrangements
- Represent public companies in the context of specific takeover threats, proxy contests and unsolicited shareholder proposals
- Advise on compliance with securities laws, regulations and stock exchange rules applicable in specific jurisdictions outside the United States